Explorer

• Introduction
• Skills and Training
• TLCM Governance: Groups and Roles
• Management Products
  • Capability Management Strategies
  • Capability Management Plans
• Ways of Working
  • Using Virtual Working
  • Using Capability Planning Assumption Lists (CPALs)
    • Recording Assumptions
    • CPAL Checklists
  • Options and How to Write one
• TLCM: Capability Planning The Six Stages
  • Stage 1: Capability Definition
  • Stage 2: Capability Goals
  • Stage 3: Baseline Review and Audit
    • Capability Perspective
    • Commercial Perspective
      • Developing the Commercial Perspective at CMG Level
      • Developing the Commercial Perspective at CPG Level
    • Financial Perspective
      • Collect Key Financial Pressures
      • Analyse Outcomes of Screenings
      • Define Pressures that Impact Capability Goals
      • Generate Summary of Pressures
    • Industrial Perspective
      • Industrial Perspective Report
    • Research Perspective
  • Stage 4: Shortfalls and Opportunity Analysis
  • Stage 5: Capability Investigations
    • Capability Investigation (CI) File
    • What does a CI File Comprise?
  • Stage 6: Endorse Capability Management Plan
    • Using Decision Conferences to Prioitise Options
• TLCM: Capability Delivery
  • Programme Board Roles and Responsibilities
  • Defence Lines of Development Owner Roles and Responsibilities
  • Programme Support Function
    • Planning and Scheduling
      • Planning and Scheduling at Programme Level
      • Planning and Scheduling at Project Level
    • Earned Value Management
    • Risk Management
  • Programme Management Plan
  • Trade-Off
• TLCM: What is Capability Generation?
  • The Levels of Integration
  • Capability Integration in Acquisition
    • Responsibilities of the Designated User
  • Capability Integration Products
    • Link to other Project Plans
    • Capability Integration Plan Responsibilities
• Requirements and Acceptance
• Urgent Operational Requirements
  • Introduction To UORs
  • UOR Process
    • Stage 1: Identify the Requirement
    • Stage 2: Identify and Agree the Solution
    • Stage 3: Procurement
    • Stage 4: Delivery Fielding and Integration
    • Stage 5: In-service and FOC
    • Stage 6: Review
    • End to End Equipment Support Framework
  • Authoritative Reference and SMEs
• Assured Capability in Defence
• COEIA
  • Managing Operational Analysis in your Project

Content

Capability Investigations: Stage 5 of Through Life Capability Management (TLCM)

What is this stage?

This stage is a structured problem solving exercise based on detailed Capability Investigations (CI). The Joint Capabilities Board (JCB) , Capability Management Group (CMG) or a Capability Planning Group (CPG) may formally trigger an investigation into shortfalls, areas of overprovision or opportunities.

The investigations follow a standard process to ensure there is a consistent approach to initiating, planning and conducting Capability Investigations (CI) across the MOD Unified Customer.

Why is this stage necessary?

Capability Investigations improve the Capability Management Plan (CMP). They find the optimum solution choices to capability shortfalls and opportunities, across all Defence Lines of Development (DLoD), including investment changes and smarter ways of working.

What is a CI?

Capability Investigations are undertaken to identify generic options across all DLoDs, which could resolve capability shortfalls and exploit opportunities. The JCB has provided guidance on How to Conduct Capability Investigations [71KB DOC].

Stage 4 of the TLCM Capability Planning cycle (Shortfall and Opportunity Analysis) develops a clear understanding of risk-based capability priorities and opportunities which may lead to a CI, graded as appropriate.

What are the different types of CI?

There are three main types of Capability Investigations, prioritised as follows:

JCB Directed

JCB Direct Capability Investigations shape the Departments strategic direction in the broadest sense. They are generally complex in nature and cut across multiple capability areas.

The Capability Investigations (CI) will align with the JCB strategy and have a dedicated Head of Capability who will sponsor and direct an appropriate CI Lead, with secretariat support as necessary. The CI Lead may demand a degree of funding in order to capture an industrial or academic perspective as appropriate.

JCB Directed CIs may not emerge from Stage 4 of the Capability Planning process.

HoC Generated

HoC Generated Capability Investigations address specific risks in support of a decision within a Capability Management Group (CMG)/Capability Planning Group (CPG). They are initiated at CMG or CPG level with the outcome contained within a capability area.

The HoC sponsors, funds and appoints a desk officer to execute the Capability Investigation with secretariat support as necessary.

Delivery Investigations (DI)

Delivery Investigations are a Programme Board function, directed by the CMG, and Senior Responsible Owner sponsored.

They exist in the delivery space with the planning solution largely known, and address the practicalities of the delivery solution.

What outputs are there from this stage?

A Capability Investigation File records all workings, conclusions and assumptions and acts as an audit trail to support the recommendations and conclusions of each CI.

The product of a CI is a report to the JCB with a recommended Option to address the shortfall or exploit the opportunity.

The four potential outcomes are:

• Recommend smarter ways of working, i.e. a better plan, recommend spending the existing budget in a better way, or recommend Equipment Programme Measures.
• Commission research – the current capability landscape and capability solution choices may not be understood. This may mean revisiting Stage 3 and investigating the nature of the capability shortfall further.
• Defer an Option to a later Planning Round – it may be more relevant or appropriate to deal with this shortfall in a later Planning Round.
• Generate an Option for submission into Stage 2 of the Planning Round.

The Option should include associated assumptions, finance, risks and issues, Research and Technology plans and any industrial impacts, drawing upon the data generated in Stage 3 .

How is this stage performed?

Investigations follow a standard problem solving process and a Capability Investigation File is used to record workings, conclusions and assumptions.

The CI File brings an appropriate level of rigour, project management discipline and documentation to an investigation. It sets out the evidence and conclusions reached, and provides a record of the decisions made with their context.

This approach enables audit and scrutiny of all decisions made and provides a record of the analysis undertaken which could be the basis on which future business cases are based. The approach also allows third parties to review the work undertaken and safeguards against changes in personnel.

CI files are stored electronically within the relevant CPG virtual team site.

Who is involved in this stage?

The Capability Improvement Branch, on behalf of the JCB, act as the CI Secretariat (CI Sec), marshalling and providing support to all involved in the conduct of CIs.

The CI Sec provides Through Life Management support to the HoC in the first instance, and the nominated lead thereafter. The role of the CI Sec is to:

• Manage a single, accessible register of completed, current and planned CIs and DI’s, with links to associated documentation.
• Own the standard CI initiation document.
• Undertake the more rigorous analysis of the need for and purpose of the CI, including:
  • Establishing whether there is an explicit link to an endorsed risk or opportunity identified in Stage 4 of the TLCM Capability Planning process.
  • Committing greater effort to phrasing the question to be answered.
  • Arranging for peer review of the question (with Industry involvement, via National Defence Industry Council Capability Planning Delivery Group (NDIC CPDG), if Industry is expected to participate).

The Sponsor normally leads Capability Investigations, and draws upon the required expertise and resources from across the MOD Unified Customer to generate novel and innovative solution choices.

• The Sponsor leads the CIs and provides resources to undertake them.
• The User assists the Sponsor by providing data and resource to complete the CIs in non-equipment Defence Lines of Development (DLoD).
• The Centre assists the Sponsor by providing data and resource to complete the CIs in non-equipment DLoDss, and provides conceptual and policy guidance.
• Defence Equipment and Support (DE&S) provides data and resource to support delivery of CIs and reflects the Industrial and Commercial perspectives.
• Defence Science and Technology (DST) provides decision support analysis, and technology and systems advice to support the assessment of Options to address the shortfalls and opportunities.
• Other Heads of Capability support the conduct of the CIs, and advise on current and emerging plans in other Capability Areas.

Change History

Change History

1 July 2010

Minor amendment to reflect organisational change.

1 July 2009

Capability Investigation guidance enhanced to include a definition, details on the different types of Capability Investigations, details on who is involved in this stage including their roles and a download providing guidance on ‘How to Conduct Capability Investigations’.